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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Staff Conduct and Code of Ethics Policy

1. Purpose

{{org_field_name}} expects all workers to act with integrity, professionalism and accountability while delivering safe, compassionate, person-centred care. This Code supports compliance with the CQC Fundamental Standards and the Single Assessment Framework (5 key questions and quality statements), the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 (including Regulation 20: Duty of Candour), the Equality Act 2010 and UK data protection law. We foster a culture of openness, speaking up and learning from feedback, incidents and outcomes.

2. Scope

This policy applies to:

• All employees, including care workers, administrative staff, and management.
• Volunteers, agency workers, and third-party contractors working on behalf of the organisation.
• This Code applies to all employees (including temporary, bank and agency), volunteers, students/apprentices, office holders/directors and third-party contractors acting for {{org_field_name}}.

Service users and families are not subject to this Code but are entitled to receive care that meets these standards.

It covers:

• Professional standards of conduct.
• Ethical principles and responsibilities.
• Interactions with service users and colleagues.
• Safeguarding, confidentiality, and data protection.
• Compliance, accountability, and disciplinary actions.

3. Legal and Regulatory Framework

This policy aligns with the following legislation and regulations:

• CQC Fundamental Standards under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 (including Regulation 20: Duty of Candour).
• CQC Single Assessment Framework (5 key questions and quality statements).
• CQC (Registration) Regulations 2009 – statutory notifications (e.g., Reg 16 death; Reg 18 other incidents).
• Care Act 2014 (adult safeguarding) and Working Together to Safeguard Children 2023 (children’s safeguarding).
• Mental Capacity Act 2005 (including DoLS — LPS not commenced; DoLS remains in force).
• Safeguarding Vulnerable Groups Act 2006 and DBS duty to refer where legal tests are met.
• Equality Act 2010 and Human Rights Act 1998.
• UK GDPR and Data Protection Act 2018 (as amended by the Data (Use and Access) Act 2025).
• Counter-Terrorism and Security Act 2015 (Prevent duty).
• Bribery Act 2010 (gifts, hospitality and conflicts of interest).

4. Professional Standards of Conduct

All staff must:

• Act with honesty, integrity, and professionalism at all times.
• Treat service users, colleagues, and stakeholders with respect, dignity, and fairness.
• Provide safe, high-quality, and compassionate care.
• Maintain appropriate personal and professional boundaries.
• Report any conflicts of interest that could affect professional judgment.
• Avoid discriminatory, abusive, or unethical behaviour.
• Be open and honest with people using services and their representatives in line with Regulation 20: Duty of Candour.
• Declare conflicts of interest immediately and record them in the register.
• Gifts and hospitality: do not solicit or accept cash; only accept tokens of nominal value with line-manager approval and record all offers/acceptances in the Gifts & Hospitality Register; never allow gifts or hospitality to influence decisions.
• Social media and messaging: never post work-related confidential information; do not befriend or privately message service users or families via personal accounts; only use approved channels.

5. Ethical Principles and Responsibilities

• Dignity and Respect: Treat all individuals with kindness, respect cultural differences, and uphold service user rights.
• Confidentiality: Maintain strict confidentiality of service user information and adhere to GDPR guidelines.
• Duty of Care: Prioritise service user well-being, ensuring their safety and independence.
• Non-Maleficence: Avoid causing harm through neglect, abuse, or unethical practices.
• Accountability: Accept responsibility for actions, decisions, and their consequences.
• Autonomy and Consent: obtain valid, informed consent; where a person may lack capacity, follow the Mental Capacity Act (presume capacity, support decision-making, act in best interests, and use the least-restrictive option).
• Justice and Inclusion: actively remove barriers and promote equality, diversity and human rights.

6. Interactions with Service Users and Colleagues

• Person-Centred Care: Tailor care plans to the unique needs, preferences, and rights of each service user.
• Professional Boundaries:
  • Do not engage in financial transactions or personal favours with service users.
  • Avoid forming personal, romantic, or inappropriate relationships with service users or their families.
  • Maintain professional distance in all interactions.
• Gifts/benefits: do not accept cash, loans, or tips; declare and record any offered gift (however small).
• Service user money or property: only handle where care plans and policies permit; obtain receipts and dual sign-off.
• Digital contact: do not use personal devices, numbers or social media to contact service users/families; use work systems only.
• Team Collaboration:
  • Foster a supportive and inclusive work environment.
  • Communicate openly and professionally.
  • Address conflicts constructively and report concerns.

7. Safeguarding, Confidentiality, and Data Protection

• Safeguarding Responsibilities:
  • Identify and report any signs of abuse, neglect, or exploitation.
  • Follow the organisation’s Safeguarding Policy and escalation procedures.
  • Attend mandatory safeguarding training.
• For adults, act under the Care Act 2014 (Section 42) and local procedures; for children, follow Working Together 2023 and local safeguarding arrangements.
• Prevent duty: escalate concerns of radicalisation via local Prevent pathways.
• Where staff are dismissed/removed (or would have been) for harming or risking harm in regulated activity, make a DBS barring referral.
• Statutory CQC notifications: the Registered Manager (or delegate) must notify CQC without delay of a service-user death (Reg 16) and other specified incidents (Reg 18), using the current CQC forms.
• Data Protection:
  • Handle service user records securely.
  • Handle personal data in line with UK GDPR and the Data Protection Act 2018 (as amended by the Data (Use and Access) Act 2025). Use the minimum necessary information, document a lawful basis, complete DPIAs where required, keep records secure, and report personal data breaches to the ICO within 72 hours where legally required. Respond to data subject requests (e.g., access, rectification) within one month.

8. Compliance, Accountability, and Disciplinary Actions

All staff must adhere to this policy and understand that breaches may result in disciplinary action, including dismissal. Actions that may lead to disciplinary measures include:

• Gross Misconduct: Theft, abuse, harassment, or serious breaches of confidentiality.
• Negligence in Care: Failing to provide appropriate support, leading to harm or distress.
• Failure to Report Concerns: Ignoring safeguarding risks or not disclosing unethical behaviour.
• Inappropriate Use of Social Media: Posting offensive, confidential, or inappropriate content about work or service users.
• Breach of duty of candour responsibilities.
• Failure to make required CQC notifications or to cooperate with investigations.
• Failure to make a DBS referral where the legal duty is met.
• Bribery, improper gifts/hospitality or undeclared conflicts of interest.
• Serious social media breaches (e.g., contacting service users via personal accounts or disclosing confidential information).

9. Training and Continuous Professional Development

To ensure adherence to ethical and professional standards:

• Mandatory induction covers: this Code, safeguarding (adults & children), duty of candour, Mental Capacity Act/DoLS, Prevent, equality & human rights, data protection/records handling, professional boundaries, and raising concerns (whistleblowing).
• Role-appropriate refreshers at least annually (or sooner following incidents/changes in law or guidance).
• Leaders ensure directors/office-holders remain fit and proper in line with Regulation 5.

10. Monitoring, Review, and Policy Updates

To maintain high standards of conduct, {{org_field_name}}:

• Conducts regular staff audits and compliance checks.
• Encourages open reporting of concerns through confidential whistleblowing channels.
• Reviews this policy annually or sooner if regulatory updates occur.
• Seeks feedback from staff, service users, and stakeholders to improve ethical practices.

Monitoring aligns to the CQC Single Assessment Framework evidence categories (people’s experiences, processes, outcomes and leadership). We will evidence compliance through incident reviews, staff and service-user feedback, audits of notifications and data protection logs, and review of the Gifts & Hospitality and Conflicts of Interest registers. This policy is reviewed at least annually, or sooner following changes in law/regulation, and will show {{last_update_date}} and {{next_review_date}}.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.